Lisa Lewis
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lisa Lewis, CFP®, who also goes by Lisa Ann Lewis, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 2000. Lisa had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2016 - July 14, 2017
EAGLE STRATEGIES LLC
June 30, 2015 - July 14, 2017
NYLIFE SECURITIES LLC
November 13, 2012 - October 14, 2014
EDWARD JONES
November 12, 2012 - October 14, 2014
EDWARD JONES
June 9, 2012 - October 30, 2012
FIRST COMMAND BROKERAGE SERVICES, INC.
June 4, 2012 - October 30, 2012
FIRST COMMAND BROKERAGE SERVICES, INC.
January 11, 2010 - June 8, 2010
EQUITABLE ADVISORS, LLC
October 23, 2009 - June 8, 2010
EQUITABLE ADVISORS, LLC
June 21, 2007 - October 29, 2007
VALIC FINANCIAL ADVISORS, INC.
December 7, 2006 - October 29, 2007
VALIC FINANCIAL ADVISORS, INC.
December 2, 2005 - September 20, 2006
METROPOLITAN LIFE INSURANCE COMPANY
December 2, 2005 - September 20, 2006
MSI FINANCIAL SERVICES, INC.
December 9, 2002 - December 31, 2005
CITISTREET EQUITIES LLC
September 7, 2000 - August 8, 2002
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
